Leads, plans, executes and reports on operational, financial, regulatory, and compliance related audits/reviews. Executes risk-based engagements that address strategic, financial, regulatory, compliance, and/or operational risk in accordance with department and Institute of Internal Auditor (IIA) standards.
35% - Plans engagements, performs testing/analysis procedures and completes audit reports.
35% - Leads SOX program including design walk-throughs, testing and reporting.
10% - Coordinates work with Risk, Legal, Compliance, External Audit, and other control-related activities as well as others within Internal Audit (e.g., co-sourced or outsourced partners).
10% - Coordinates and facilitates external audit requests and engagements.
10% - Supports the annual risk assessment and audit planning process.
Ensures that own work as well the financial institution is in compliance with applicable regulations directly or through subordinates.
All other duties as assigned.
Skills and Abilities
Superior knowledge of risk-based auditing attained through 2 to 5 years of progressive work experience with a focus on financial and/or regulatory requirements.
Understanding of the standards of the Institute of Internal Auditors (IIA) and ability to fully comply with IIA standards.
Ability to lead projects to follow sound internal control practices and to manage risks appropriately.
Ability to critically think through problems and develop innovative and efficient solutions.
Be adaptable and able to meet deadlines on assignments, juggle multiple demands and to work with all types of individuals up to and including the CEO.
Strong skills in negotiating, relationship building, problem solving, and timely problem escalation.
Excellent written and oral communication skills including report writing.
Excellent time management and organizational skills.
Detail oriented but able to quickly grasp the big picture.
Proficiency in MS Office (Word, Excel, PowerPoint), Outlook, and Visio.
Working Conditions and/or Physical Requirements
Ability to work under stress and meet deadlines.
Ability to operate a keyboard if required performing the essential job functions.
Ability to read and interpret a document.
Ability to travel if required to perform the essential job functions.
Ability to lift/move/carry approximately 20 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department an undue hardship then the employee must be accommodated; hence, omitting lifting as a physical requirement.
Bachelors Degree required.
2+ years of experience related directly to Internal Audit or Accounting required.
2+ years of experience in a financial institution, heavily regulated industry, and/or publicly traded company preferred.
Certified Internal Auditor designation (CIA) preferred.
Secondary designation or post-graduate degree preferred (appropriate designations include Certified Fraud Examiner (CFE), Certified in Risk Management Assurance (CRMA), Certified Public Accountant (CPA), Certified Compliance & Ethics Professional (CCEP), or Certified Financial Services Auditor (CFSA), Certified Information Systems Auditor (CISA), or Certified Regulatory Compliance Manager (CRCM).